Legal and Regulatory Issues in the Financial Industry
MET AD 722
Prereq: MET AD630, MET AD731
A review of the legal and regulatory issues that govern the financial industry. The course reviews SEC regulations as well as the financial legal environments that affect the financial system, the operations of financial firms and protect shareholders and company employees. The course provides a historical context in which the legal and regulatory systems have evolved and relates that history to today's complex financial environment.